Neil V. Moody

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CRD#: 338573

Professional summary

Neil Victor Moody was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Neil is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Neil had worked at 4 firms, which includes UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, KIDDER PEABODY & CO. INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Neil V Moody

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 28, 1995 - March 5, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 30, 1989 - November 16, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 19, 1978 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

February 12, 1968 - May 19, 1978

KIDDER, PEABODY & CO., INCORPORATED

CRD#: 488

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 10/6/1986

National Commodity Futures Examination

General Industry/Product Exam

PC

Date: 8/15/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 2/9/1968

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 4/19/1973

General Securities Principal Examination

Current Firm

UBS FINANCIAL SERVICES INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA

Registered Investment Advisory firm - SEC (1/22/1971 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

1200 Harbor Boulevard, Weehawken, NJ 07086

Mailing Address

315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238

Phone number

(201) 352-3000

Established

Delaware since 06/30/1969

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

12,629

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)

FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)

RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
UBS AMERICAS INC.	OWNER
CAMACHO, MICHAEL ALAN	PRESIDENT	2907298
FRANCOMANO, LISA M.	CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS	2263875
MATTONE, RALPH	PRINCIPAL FINANCIAL OFFICER	1840894
MOZER, PETER	MANAGING DIRECTOR	2523858
MUNFA, LAUREN	CHIEF COMPLIANCE OFFICER	4431011
SAKAI, KIYE	GENERAL COUNSEL	7451987
SOMMA, JOSEPH	PRINCIPAL OPERATIONS OFFICER	2219496

Regulatory assets under management

Total Number of Accounts	1,134,923
AUM (Assets Under Management)	$ 808,822,670,899

Disclosures

Regulatory Event	475
Civil Event	5
Arbitration	443

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/26/2025	Cover Page	Report
05/15/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Neil V. Moody

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

KIDDER, PEABODY & CO., INCORPORATED

Primary Firm SEC Registration

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/28/1997

Series 63

Date: 12/19/1988

Series 3

Date: 10/6/1986

PC

Date: 8/15/1977

Series 1

Date: 2/9/1968

Series 00

Date: 4/19/1973

Current Firm

UBS FINANCIAL SERVICES INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

UBS FINANCIAL SERVICES INC.

TRUST BUT VERIFY

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